Junior Attorney

Be a part of the team behind our success!  At Advisor Group, we support more than 5,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Junior Counsel Opportunity in Financial Services

Transactional Attorney


Location:          10 Exchange Place, Suite 1410  Jersey City, NJ 07302

Summary:

Advisor Group, Inc. currently has an opening for an experienced transactional / business attorney based in its Jersey City, N.J. location.   This position will report directly to an Associate General Counsel of the Legal team. The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; and the ability to work as part of a team collaborating with other counsel and business or compliance personnel.

Responsibilities:

  • Identify and evaluate regulatory issues relating to the financial services industry
  • Provide legal and regulatory advice in the development and structuring of new business initiatives
  • Advise the business on a wide range of legal issues relevant to the negotiation, drafting and review of various documents, including side letters, investment management agreements, service agreements, NDAS, asset purchase agreements, agreements and a wide range of technology-based commercial contracts
  • Interface with relevant regulators, such as the SEC and FINRA
  • Advise on securities laws, most particularly relating to broker-dealers and investment advisers
  • Engage in direct negotiation with third parties and provide direct advice and support on significant matters and other diverse issues requiring complex legal and strategic analysis
  • Review disclosure documents, sales and marketing materials
  • Draft and/or review corporate policies and procedures
  • All other duties as assigned

Education Requirements:

  • J.D. from a top tier law school is required.

Basic Requirements:

  • 4-6 years as a practicing attorney, with previous relevant law firm and financial institution experience.
  • Must be licensed to practice law as a member in good standing in the state/jurisdiction in which the position is based or otherwise demonstrate compliance with the in-house counsel registration rules of that state/jurisdiction.
  • Advanced knowledge of the financial services industry and the ability to guide business strategies and decision
  • Experience with contracts relating to software licensing for cloud-based providers as well as professional services, data privacy/data security, IT/IP, and Saas/PaaS/IaaS models is a plus
  • Strong verbal and written communication skills, including drafting skills
  • Strong analytical, problem-solving and organizational skills
  • Ability to identify and act on new opportunities for growth, engaging appropriate stakeholders to achieve beneficial outcomes
  • Composure under pressure, ability to maintain high professional standards in all situations
  • Demonstrated ability to work in a fast paced environment with a strong focus on teamwork; should be able to effectively lead implementation of a variety of departmental projects and tasks